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REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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EG 9.8 The effect of the FCA's decision to make a prohibition order
As Published: 2016
EG 9.8 The effect of the FCA's decision to make a prohibition order
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EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974
As Published: 2016
EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974
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MAR 8.2 Requirements for benchmark submitters [deleted]
As Published: 2018
MAR 8.2 Requirements for benchmark submitters [deleted]
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REC 1.2 Purpose, status and quotations, notes or references
As Published: 2004
REC 1.2 Purpose, status and quotations, notes or references
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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